Section 54533 - Present or Potential Conflict of Interest Identified, Proposed Conflict Resolution Plan Content, Timelines for Submission of Proposed Conflict Resolution Plan(a) When a present or potential conflict of interest is identified for a regional center board member, executive director, employee, contractor, agent or consultant, the present or potential conflict shall be either eliminated or mitigated and managed through a Conflict Resolution Plan, or the individual shall resign his or her position with the regional center or regional center governing board.(b) When a present or potential conflict of interest has been identified by the regional center executive director for a regional center employee, contractor, agent or consultant, the regional center shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict to the Department within 30 calendar days of receipt of the completed conflict of interest statement from the employee, contractor, agent or consultant.(c) When a present or potential conflict of interest has been independently identified by the Department for a regional center employee, contractor, agent or consultant, the Department shall notify the regional center executive director, in writing, of the present or potential conflict. The regional center executive director shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict to the Department within 30 calendar days of receipt of the Department's notification.(d) When a present or potential conflict of interest has been identified by the regional center governing board for a regional center governing board member or regional center executive director, the regional center governing board shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict to the Department, to the area board in the respective area, and to the State Council within 30 calendar days of receipt of the completed Conflict of Interest Reporting Statement.(e) When a present or potential conflict of interest has been independently identified by the Department for a regional center governing board member or regional center executive director, the Department shall notify the regional center governing board, in writing, of the present or potential conflict. The regional center governing board shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict to the Department, to the area board in the respective area, and to the State Council within 30 calendar days of receipt of the Department's notification.(f) To promote transparency, the regional center shall post on its internet website each completed Conflict of Interest Reporting Statement that identifies a present or potential conflict of interest that cannot be resolved within 30 calendar days of receipt by the regional center governing board or the regional center executive director, or within 30 calendar days of receipt of the Department's notification that it has independently identified a present or potential conflict of interest. The completed Conflict of Interest Reporting Statement shall remain on the regional center's Internet website until the present or potential conflict of interest has been eliminated, or the individual has resigned his or her regional center position.
(g) The proposed Conflict Resolution Plan shall be a written, detailed plan to eliminate, or mitigate and manage, the present or potential conflict of interest, along with any necessary supporting documents. The proposed Conflict Resolution Plan shall: (1) Describe the precise nature of the present or potential conflict of interest or activity and give a detailed description of the conflict:(A) The type of interest creating the present or potential conflict; and(B) The identity and relationship between the individual(s) and/or entity(ies) involved; and(C) The roles and duties of each individual and/or entity that gives rise to the present or potential conflict of interest.(2) State the action(s) that the regional center governing board, regional center and/or the individual(s) will take, including the necessary timeframes, to eliminate or mitigate and manage the present or potential conflict of interest. Actions to eliminate, or mitigate and manage, the present or potential conflict of interest may include, but are not limited to, one or more of the following: (A) Resignation of the individual(s) from the position or activity creating the conflict of interest.(B) Refraining from participation, or limiting the individual's ability to act, in a particular matter or category of matters.(C) Change of assignment, duties, or position.(D) Divestiture of financial interests that give rise to the conflict of interest.(E) Terminating or refraining from relationships that give rise to conflicts of interest.(3) Provide a detailed explanation of how each of the proposed actions will actually eliminate or mitigate and manage the present or potential conflict of interest.(4) Provide the name, position and duties of the individual(s) who will be responsible for ensuring that any actions, limitations, or restrictions included in the Conflict Resolution Plan, if approved by the Department, will be taken, applied, followed, and monitored. Explain any oversight and monitoring mechanism in enough detail to allow the Department to ascertain that the mechanism is sufficient to eliminate, or mitigate and manage, the present or potential conflict of interest.(5) A proposed Conflict Resolution Plan shall be signed by the individual(s) subject to the Conflict Resolution Plan, in addition to the person in the designated position or committee responsible for reviewing the Conflict of Interest Reporting Statement, and the person in the designated position or committee responsible for monitoring performance under the proposed Plan, if approved.Cal. Code Regs. Tit. 17, § 54533
1. New section filed 1-28-2014; operative 1-28-2014 pursuant to Government Code section 11343.4(b)(3) (Register 2014, No. 5). For prior history, see Register 2013, No. 32. Note: Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4627, 4628 and 4629, Welfare and Institutions Code.
1. New section filed 1-28-2014; operative 1-28-2014 pursuant to Government Code section 11343.4(b)(3) (Register 2014, No. 5). For prior history, see Register 2013, No. 32.